here - Triple Bridge

PROF.DR.IR.
MARCEL HERTOGH
TU DELFT
TRIPLE BRIDGE BV
OPPORTUNITY FRAMING
FOR INFRASTRUCTURE
PROJECTS
DR.IR.
JEROEN RIJKE
TRIPLE BRIDGE BV
Samenvatting
PROF.DR.
HANS BAKKER
TU DELFT
‘Opportunity framing’ is een aanpak waarbij de
scope van projecten opnieuw wordt gedefinieerd om
de kans op projectsucces te vergroten. Deze benadering leidt tot extra maatschappelijke waarde van
infrastructuurprojecten. Het is echter niet altijd eenvoudig om opportunity framing toe te passen. Veel
voorkomende issues zijn: 1) bij te vroeg aansturen
van projecten op specifieke opties worden, mogelijk
betere, alternatieven buitengesloten; 2) de windows
Introduction
Opportunity framing is a structured approach to understanding
and defining opportunities that add societal value to ongoing infrastructure projects. It is the starting point for a robust, decision
driven process for the realisation of the opportunity. The essence
of opportunity framing is to decide of what the project will be and
what not. This primarily implies definition of project goals and
boundary setting of project scope. Additionally, it is about adding
scope and/or (re)framing the concept of the project. It can also
be the application of a new technology, or any new concept to
be considered by the client/sponsor, project team or any other
stakeholder. An important aspect of opportunity framing is the
interaction between stakeholders to secure project success.
Crucial elements of opportunity framing are:
– To define the goal and scope of the project (“Framing”).
– To involve stakeholders.
– To define criteria for project success.
Highway A2 Fish Migration
Maastricht River
(reframing*)Afsluitdijk
(adding scope)
x
x
x
x
x
– To create value drivers.
– To identify risks: threats, as well as opportunities.
– To redefine the scope of the project based on the above analyses
(“Reframing”)
Opportunity framing is not easy and added value is not easily
achieved. In this paper, we give some practical examples of opportunity framing and describe the challenges that are commonly occurring when the approach is implemented. We draw
from practical experiences from the A2 Maastricht highway
tunnel project, the fish migration river through the Afsluitdijk,
West Coast Mainline railway project in the United Kingdom,
flood risk management in Dordrecht and infrastructure projects
in the province of Friesland. Based on the experiences from these
projects, we provide guidance for overcoming these challenges.
Implications of opportunity framing
In this section, we use the examples of the Highway A2 through
Maastricht and the Fish Migration River through the Afsluitdijk
in the Netherlands to illustrate that opportunity framing is being
implemented in practice by reframing the project and/or adding scope. Table 1 summarizes the implications of opportunity
framing for both projects.
Table 1 Implications of opportunity framing
for infrastructure projects
Political legitimacy
Financial feasibility
Environmental benefits
Real estate
Additional project risks
of opportunity voor het op effectieve wijze toevoegen van scope aan lopende projecten zijn relatief
klein; en 3) leiderschap en gedeeld commitment zijn
noodzakelijk om de scope van projecten aan te passen. Om kansen voor extra maatschappelijke waarde
te verzilveren met opportunity framing, adviseren we
een gebiedsgerichte aanpak die past bij de context
van de omgeving. Het is van belang dat die aanpak is gebaseerd op een gedeelde ambitie van de
betrokken partijen.
Case 1: Highway A2 Maastricht
The city of Maastricht is divided by the busy highway A2, characterised by congestion, which also creates unacceptable levels of
air pollution. To tackle these problems, several plans have been
developed over the last few decades to bring the highway underground at the current location, or even outside the city. However,
sufficient support and funding could not be found until the plan
was reframed from an infrastructure project into a city development project at the start of the 21st century. By bringing the high-
x
x
x
x
* In the slipstream of reframing the Highway A2 project,
additional elements were added to the original scope.
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OPPORTUNITY FRAMING FOR INFRASTRUCTURE PROJECTS
way underground in a tunnel, new space could be created for real
estate, housing and an environmental upgrade of the area. In this
plan, that is currently under construction, the city development
contributes financially to the infrastructure to make the project
feasible. In addition, extra support for the project was generated
with designing a major part of the newly created space above
the tunnel as a green zone. The project is named after this green
zone: the ‘green carpet’ (Figure 1).
Reframing the project into the ‘green carpet’ city development
project resulted in sufficient political and societal support, a financially feasible project, improvement for the living environment, a better traffic flow, new apartments (1,100) and extra
commercial real estate (30,000 m2). However, reframing also
introduced important threats to the project, such as the technical
risks related to the construction of a double deck tunnel, and the
financial risks related to the timely sale of the real estate.
Case 2: Fish migration river Afsluitdijk
(Source: http://theafsluitdijk.com/projecten/vismigratierivier/)
In preparation of the planning for the strengthening of the Afsluitdijk in the northern part of the Netherlands, the national
government, inspired by ideas from the province of Friesland, has
been holding the vision that the dam should become an international showcase of hydraulic engineering and a testing ground
for innovative ideas. Accordingly, it has challenged companies,
knowledge institutes and regional authorities to provide innovative ideas. One of the ideas that was developed by a consortium
of regional authorities and non-governmental organisations is
the ‘fish migration river’. This is an opening in the Afsluitdijk
through which migratory fish can swim to reach the IJsselmeer
(fresh water) from the Wadden Sea (salt water) and vice versa
(Figure 2). It will contribute to ecological restoration by enabling several fish species to reach their breeding grounds that are
located in the fresh water systems of the IJsselmeer, the river
IJssel and, further upstream, the river Rhine. It is currently being
realised as the result of the opportunity that was provided by the
reinforcement works that were required to comply with the flood
protection standards for the Afsluitdijk.
The construction of the fish migration river will be tuned with the
contract for the strengthening of the Afsluitdijk. Adding the fish
migration to the scope of the ongoing strengthening project provided several opportunities to the stakeholders involved. Firstly,
ecological values could be restored against lower cost (compared
to the realisation of the fish migration river as a separate project). Secondly, it is expected to contribute to the iconic character
of the Afsluitdijk, which is instrumental to becoming an international showcase. Thirdly, it provides a platform for collaboration
between stakeholders with partially conflicting interests in the
Afsluitdijk project as a whole, and thus enhances its legitimacy.
However, it also introduced new technical and financial project
risks to the initial project scope for strengthening the Afsluitdijk.
Challenge 1: Premature convergence
The above cases illustrate that opportunity framing can result
9
Figure 1 – Highway A2 Maastricht / ‘Green carpet’.
Source: www.a2maastricht.nl/nl/dp/english.aspx
in enrichment of the project.
However, in many situations a solution is chosen early in the
process, thereby excluding the many other options present at
that point in time. This phenomenon is called ‘premature convergence’ (Hertogh and Westerveld, 2010). For example, premature
convergence occurred in the upgrade of the West Coast Mainline in the United Kingdom, a major railway project that started
around 1990 and was delivered in 2008 (total costs € 8,3 bn.).
Initially, the project delivery organisation (PDO) wanted to use
ERTMS (European Rail Traffic Management System). This is a
new, unproven signalling system, but was an opportunity for the
project in terms of quality and costs. The PDO applied it as a basis
for the cost calculations and the passenger train contracts. This
was decided too quickly, because the decision was made without
sufficient research and there was no Plan B. However, during the
project it appeared that the development of this new technology
would be too costly and time consuming. Amongst other factors,
this brought the project into a crisis, because the project organisation had not considered alternative options beforehand. As
a result, it was reframed in 2001 and a more traditional train
safety and communication system was chosen.
Challenge 2: Relatively small windows of opportunity
One way of opportunity framing is adding scope to ongoing projects, as illustrated by the example of the fish migration river
Afsluitdijk. As such, it can be applied to achieve a particular strategy in practice against lower costs by using ongoing projects
as an opportunity for mobilizing political support and realizing
additional goals. For example, on the Island of Dordrecht this
approach is being used to implement a flood risk management
strategy that comprises of: 1) protection against flooding (traditional flood defence), 2) prevention of damage in case of flooding through spatial measures and building design, and 3) pre-
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OPPORTUNITY FRAMING FOR INFRASTRUCTURE PROJECTS
Figure 3 –Value creation by the area-centred
approach of the province of Friesland.
Figure 2 – Fish migration river through the Afsluitdijk.
Source: http://theafsluitdijk.com/projecten/vismigratierivier/
paredness for future flooding through emergency management
planning. The regional authorities are currently investigating
the feasibility to implement the latter two aspects of the strategy
through linking these objectives to ongoing projects, such as road
reconstruction of the regional road N3 to realise an evacuation
route and the ecological restoration project ‘Nieuwe Dordtse Biesbosch’ to divert floods away from the city centre.
Increasing the scope of the ongoing projects is not free of cost. For
example, to convert the regional road N3 into an evacuation route
requires elevation of several road segments. To add scope to the
road reconstruction project can therefore only work when there
are dedicated funding sources for the objectives that are to be
included in the original project scope and can provide the means
for linking objectives. It appears difficult to actually add scope to
ongoing projects, because there is usually relatively much time required for political decision making on the allocation of funding
for flood risk management objectives.
Challenge 3: Leadership and shared
commitment required
In contrast to the example from Dordrecht, the case of the fish
migration river has shown that relatively short windows of opportunity can also lead to a positive impulse to planning processes as it required timely political investment decisions in order
to ensure that the opportunity to realise cost savings for the fish
migration river. Although all regional and national stakeholders
were either endorsing or applauding the realisation of the fish
migration river during its planning and design stage, it remained
unclear for a long time who would take the lead in the development process, as no single organisation had the formal responsibility or authority by itself to decide upon the realisation. Additionally, “who is willing to run the marathon?” was a question
that was raised during the preparation of the plans, as it would
require a significant effort to develop the plans and prepare contract specifications, engage with local communities and institutional stakeholders, arrange financing, make arrangements for
maintenance and operation etcetera. With support of the several
municipalities, the neighbouring province, several NGOs and the
national government, this role was taken up by the province of
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Friesland and is facilitated by the programme “Naar een Rijke
Waddenzee”(“Towards a Rich Wadden Sea”).
A way forward: area-centred approach
The examples that are used in this article indicate that the process of opportunity framing starts at the early beginning of projects. However, it is worthwhile to note that it is also beneficial
during the following phases, including maintenance and operation. An example of an opportunity during the operation phase is
the installation of five tidal turbines in the Eastern Scheldt storm
surge barrier to generate clean energy in 2015.
For opportunity framing, interaction between people is a key
factor in creating the scope and realising project success. Furthermore, opportunity framing is very dependent on the specific
situation: e.g. starting points, ambitions and preferences of stakeholders, characteristics of the environment. Therefore, opportunity framing requires a fit-for-purpose approach.
Infrastructure projects are serving public values and, thus, have
the primary purpose to generate user, social and economic benefits, rather than the completion of a physical project as an end in
itself. If the success of the outputs depends on operational interfaces as well as physical construction, these must be managed
from the outset and integrated into the programme management
of the whole project (Hertogh et al, 2008). It depends on the ambition and the characteristics of the project, how far the project
organisation can go in broadening the scope. By broadening the
scope, there may be a higher likelihood of project success if the
project is well managed. However, a broader scope can also make
the management of the project more challenging, introducing a
threat for project success.
An interesting example is the development of a fit-for-purpose,
area-specific approach taken by the Dutch province of Friesland
to link infrastructure and area development. Until 2020, the province of Friesland is realising infrastructure projects worth 1.5
billion Euros using a so-called ‘area-centred approach’. The aim
of this approach is not only to improve the network of infrastructure projects, but also to give the area a societal ‘plus’. This ‘plus’
can take many forms. It can mean extra nature, a higher bridge
for pleasure boating or improving liveability in a declining area.
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OPPORTUNITY FRAMING FOR INFRASTRUCTURE PROJECTS
More conceptually, the following levels are distinguished by the
province to create a ‘plus’ in their infrastructure projects (see
Figure 3):
1. The physical construction of the infrastructure, that needs to
be executed according to requirements of finance, time and
scope.
2. Integration of the infrastructure in the landscape, e.g. through
a diversion of the route or noise barriers.
3. Connection with other projects, such as the use of sand from a
dredging project for a new highway project.
4. Connection with other functions, such as power supply (solar
cells), recreation, land development.
5. Social value creation, such as creating an attractive business
environment (employment) and keep areas in the countryside vital; in general focus on economic and social sustainable
growth of the whole province.
To realise added value, cooperation between the provincial authority and partners in the region begins at an early stage in the
process. These are the parties that can exert real influence on the
scope of the projects and the process. Interesting is that the application of the area-centred approach is customised to the characteristics of the projects in which it is applied. The province has
learned from previous projects how a ‘plus’ can be realised, but it
has experienced at the same time that every project is unique and
requires a specific approach and solutions at the specific levels.
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Conclusion
In order to frame opportunities in line with the characteristics
of the project and its context, we recommend an area-centred
approach in which the project is considered an integral part of
its physical and social context. As such, an infrastructure project
does not stand alone, but is considered in combination of opportunities for effective landscaping, creating synergies between
various projects (e.g. ground works), connecting functions (e.g.
roads with city development), or creating social benefits (e.g.
perspectives for economic growth).
References
This article is a based on and an adaption of the previously
published Chapter 6 of Hertogh (2014), see below.
– Hertogh, M.J.C.M., S.K. Baker, P.L. Staal, E. Westerveld (2008),
Management of Large Infrastructure Projects, NETLIPSE.
– Hertogh, M.J.C.M. and E. Westerveld (2010), Playing with
Complexity, Management and organisation of large infrastructure projects, Erasmus University, Rotterdam.
– Hertogh, M.J.C.M. (2014), Opportunity framing, Chapter
6 in Bakker, H.L.M and J.P. de Kleijn, 2014: Management of
engineering projects - People are key. NAP, Nijkerk. ISBN:
9789081216203. www.napnetwerk.nl.
– Rijke, J. (2015), Adaptation mainstreaming for realising urban
flood resilience, JPI Green Blue Cities Meeting, Amsterdam. K
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